Social Media

Eyster maintained a public website that advertised financial planning and investment advisory services tailored to physicians. The website had a “Testimonials” section displaying statements by ...

Between March 2015 and March 2016, Schwartz was a cause of four registered investment advisers’ violations of the testimonial rule under the Advisers Act when ...

HBA violated, and Biel caused HBA to violate, the testimonial rule under the Advisers Act by publishing on the internet advertisements containing testimonials concerning HBA, ...

Greenfield hired a marketing consultant named Dr. Leonard Schwartz (“Schwartz”) and his company, Create Your Fate, LLC (“Create Your Fate”), both based in Richboro, Pennsylvania. ...

Romano Brothers violated the testimonial rule by publishing two videos containing client testimonials about Romano Brothers and the advice and services it renders. These testimonial ...

In a first, the SEC has secured the appointment of a receiver in connection with an alleged fraudulent initial coin offering targeting retail investors. On ...

The YouTube video featuring Knights of Columbus Asset Advisors ($22B in AUM) in New Haven, Conn., notes the “Powerball Jackpot is $800 million dollars” and ...

A peer shares a copy of a sweep exam letter that looked at how the advisory firm handles and oversees electronic messaging.

The return on investment for social media appears to be on the rise—at least for financial professionals. American Century Investments’ seventh annual Financial Professionals Social ...

If your firm or its associated persons intends to communicate regarding firm business through a text messaging app or chat service, first ensure that you ...